Transportation Capital Infrastructure Program

Annual Capital Plan Report

January 2017

Prepared by the Office of Engineering

Chief Engineer’s Office

Table of Contents

The CTDOT Capital Program ................................................................................................................................... 1

Overview .................................................................................................................................................................... 1

Asset Management ..................................................................................................................................................... 2

Improving Project Delivery ....................................................................................................................................... 3

Financing of the Capital Program.............................................................................................................................. 4

Available Funds.......................................................................................................................................................... 4

Expenditure of Funds ................................................................................................................................................. 4

Role of Federal Funds ................................................................................................................................................ 5

Management of FHWA Funding ............................................................................................................................... 6

Management of FTA Funding ................................................................................................................................... 6

Components of the Capital Program ......................................................................................................................... 8

Public Transportation ................................................................................................................................................. 8

Highway and Bridge .................................................................................................................................................. 8

Complete Streets ........................................................................................................................................................ 8

Safety .......................................................................................................................................................................... 9

The Capital Construction Program ......................................................................................................................... 11

Mode Specific Accomplishments and Plans for the Future .................................................................................. 12

Public Transportation Capital Program ................................................................................................................... 12

Bus ........................................................................................................................................................................ 12

Rail ........................................................................................................................................................................ 12

Maritime ............................................................................................................................................................... 13

Highway and Bridge Capital Program ..................................................................................................................... 14

Highway and Bridge ............................................................................................................................................. 14

Complete Streets ................................................................................................................................................... 15

Conclusion ................................................................................................................................................................... 16

Figures ......................................................................................................................................................................... 17

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The CTDOT Capital Program

Overview

The mission of the Connecticut Department of Transportation (Department) is to provide a safe and efficient

intermodal transportation network that improves the quality of life and promotes economic vitality for the State

and the region. In order to achieve this mission, the goal of the CTDOT Capital Program is to gather and spend

every available dollar of capital funding to rebuild, replace, or improve the State’s transportation infrastructure.

Each year, the Department develops a plan to design road, bridge, public transportation and other transportation

facilities to acquire the necessary property interests and to construct those projects in a way that uses or leverages

all of the available State and Federal funding.

The specific purpose of this report is to inform the Department’s stakeholders about the past 2016 Capital

Infrastructure Program (for State advertised and administered contracts) and to outline the plan for 2017 and

beyond. The report includes historical achievements, trends, major issues, and the Department’s plan to address

critical transportation needs, as well as address current challenges associated with maintaining our aging

transportation infrastructure. The development of the report encompasses a collaborative effort by the

Department with various stakeholders, such as Metropolitan Planning Organizations (MPOs) and elected officials.

This document is intended to supplement the project and funding information that is provided in the forward-

looking FFY 2017–2021 Capital Plan. Figure A is the financial summary page from the Plan and a useful

reference throughout this document. Reference is also made in this document to the Governor’s 2015-2016

Digest of Administrative Reports (http://das.ct.gov/cr1.aspx?page=17). Readers are encouraged to review

CTDOT’s portion of the report for more detailed information regarding CTDOT’s 2016 accomplishments.

The Let’s GO CT! vision, and more specifically, the newly legislated 5 year Ramp-Up toward that vision, is

beginning to change the dialogue regarding the future of transportation infrastructure in Connecticut. The

Department began the process over this past year of implementing the Governor’s Let’s GO CT! initiative. The 5

year Ramp-Up plan included $2.8 billion in additional bond authorizations, including an additional $275 million

in Federal Fiscal Year (FFY) 2016 and $520 million in FFY 2017 (See Figure B). Maintaining a state of good

repair of our current assets is our priority for attention and funding. However, the current Ramp-Up funding

program, and the potential to expand annual investment levels even beyond the increased Ramp-Up levels, has

this agency planning for a very aggressive multi-faceted, multi-modal, system enhancement consistent with the

needs of the travelling public. Future capital projects may include extensive capacity improvements on highway

and transit systems, depending on the breadth of new state capital funding levels. The magnitude of these capital

projects would dwarf historical investment levels. As shown in Figure B, the Department assumes that as the 5

year Ramp-Up ends in FFY 2020, the State’s Regular Bond Program will increase by approximately $700 million

in FFY 2021 to reflect the transition to a “ramped-up” regular program.

Utilizing the FFY 2016 Let’s GO CT! funds, the Department began an engineering review of the I-95 corridor;

started the preliminary design process for I-84 Exits 3 through 8 in Danbury; and initiated planning for the

replacement of the I-84 / Route 8 interchange in Waterbury. Funding was also made available for Rail and Bus

initiatives; such as, funds for the creation of the new rail service running from New Haven to Springfield, MA

known as the “Hartford Line”; purchasing new dual mode rail cars to operate throughout the state; the deployment

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of a state-wide live real-time bus information system; and improvements to Paratransit Services. More detailed

information on Let’s GO CT! is available at http://www.transformct.info .

In the recently concluded FFY 2016, the Department programmed approximately $2.20 billion for all

transportation modes – road and bridge, railroad and bus and other public transit - in the Capital Program for

2016. This included $1.02 billion for bus and rail, and $1.16 billion toward the state’s highway and bridge

infrastructure. There was also roughly $25.80 million programmed toward the Maritime Capital Program, and

$22.28 million for Facilities. The Department anticipates utilizing approximately $2.25 billion in total Capital

Program funding for all transportation modes in FFY 2017. This includes available funding from Let’s GO CT!

as well as regular and State and Federal funding. This amount includes approximately $933 million for bus and

rail, $1.29 billion toward the state’s highway and bridge infrastructure, and $24.16 million in support of the

Facilities Program (Please refer to Figure A).

The Department strives to improve the efficiency of the development and construction of its projects, called

“Project Delivery”. Improving Project Delivery requires the Department to appropriately size its staffing for the

effort and to expand the revenue sources when possible. Project Delivery improvement includes innovative

construction techniques and a variety of process improvement tools (See Section, “Improving Project Delivery”

for a more detailed discussion).

The state’s commitment to an increased investment level in our multi-modal transportation infrastructure will lead

toward improving our highway and transit system, while also supporting the economy and business of

Connecticut. Figure D charts the Department’s increasing capital outlays that support jobs in the region. These

initiatives represent significant investment in Connecticut’s infrastructure. It should be noted that while there are

increased investment levels in our multi-modal transportation infrastructure, capital project expenditures also

continue to rise.

Although the state has significantly increased its investment levels in recent years for all transportation modes, a

long term dependable Federal program, and State program beyond 2020, is imperative in our efforts to plan

capital transportation investments.

Asset Management

The Department is in the process of developing Transportation Asset Management Plans (TAMP) for highway

related transportation assets and public transportation assets. Asset Management is the mechanism by which the

Agency strategically invests in its infrastructure to achieve the Long Range Transportation Strategic Plan

objectives in a fiscally responsible way that maintains safety, efficiency, and expansion. The TAMP documents

will build on and expand current CTDOT initiatives in the area of Asset Management. The development of the

TAMP is a critical priority for the Department. It will help CTDOT comply with the federal legislation Moving

Ahead for Progress in the 21st Century (MAP-21) and Fixing America’s Surface Transportation Act (FAST)

legislation; and it also will guide future prioritization of projects, and CTDOT in its endeavor to deliver better

asset performance, while also managing risks. The Department has used certain aspects of the Asset Management

Program, including performance metrics, for a number of years. However, the expanded federal requirement is

intended to provide a more detailed and objective basis for Capital Program development.

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Improving Project Delivery

Delivery of completed projects on or before schedule, on or under budget, and of the highest quality is one of the

top priorities of the Department. Improving project delivery is an important element of expanding the capacity of

the Department’s Capital Program. Every improvement in project delivery increases the Department’s capacity

for more projects (which equates to more jobs).

One tool the Department has used in improving project delivery is the LEAN, or Kaizen process. Some areas that

saw improvement in 2016 included improvements to the traffic signal design process, the List Bridge Program

process, Rights of Way concurrence and deed writing, Rights of Way closing and condemnation processes,

construction time overages, DOT/DEEP Permitting, the management of the Disadvantaged Business Enterprise

(DBE) Program. The Department also realized efficiencies through initiatives in e-construction (paperless

construction delivery process.)

The Department continued to advance its ability to utilize alternating contracting methods in 2016. This included

establishing an Alternate Contracting unit within the Office of Construction to coordinate Department efforts.

The effort was a result of the Department successfully obtaining authority from the Legislature in 2015 to utilize

both design-build as well as construction-manager-at-risk contracts for advertising projects.

The following are some examples of project delivery improvements being implemented at the DOT:

Accelerated Bridge Construction

Alternative Project Delivery

- Design Build

- Construction Manager at Risk (CMR)

- Construction Manager / General Contractor (CM/GC)

Local Transportation Capital Improvement Program (LOTCIP)

Master Municipal Contracts

3-D Engineering modeling

e Construction

The Department’s goal is to develop a manageable collection of “shovel ready” projects designed and ready to bid

expeditiously when new revenue sources become available or if other project schedules slip.

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Financing of the Capital Program

Available Funds

The Capital Program is funded with a mix of State and Federal funding. Historically, Federal monies accounted

for 70-80% of the Department’s capital program, this changed in recent years with an influx of State bond funding

for programs such as the Fix-it-First Road and Fix-it-First Bridge programs, and the Local Transportation Capital

Improvement Program (LOTCIP). Further state investment in transportation is occurring as a result of the Let’s

GO CT! Ramp-Up legislation. These additional state investments have increased the state participation

percentage to roughly two-thirds of the total Capital Program funding (See Figure C).

Available Capital Program funding includes any carryforward balances, or funds made available in a previous

year but not obligated to a specific project. It is common for funding to be made available for use on specific

projects that may take multiple years to construct, or for items such as rail cars or busses that may take more than

two (2) years to be delivered after a purchase order is issued. That is true for 2017. Therefore, the Department

will not spend all currently available capital funds in 2017. As a result, roughly $190 million is expected to carry

over to the next fiscal year cycle (See Figure A). Further details regarding planned expenditures in 2017 follow in

the Capital Construction Program discussion.

Available Capital Program funding can also include funds released from previously completed projects, which are

available to re-use.

Expenditure of Funds

The Department is often questioned on the appearance that it is not fully utilizing state money that is available to

it for its transportation program. Special Tax Obligation (STO) bond authorizations are the main source of state

funding for the DOT Capital Program, so in order to understand delay in the spending cycle, it is important to

understand the bonding process. It begins when the state Legislature passes bond Authorizations that allow the

Department to utilize bond funds for transportation purposes. Before the Department can utilize the bond funds,

the State Bond Commission (SBC) must Allocate the funds at one of its monthly meetings. After the SBC has

approved the allocation of funds, the Department can request the funds be Allotted to a specific project, through

the submission of an allotment request to the Office of Policy and Management (OPM). Once OPM has approved

the allotment request and forwarded it to the Office of the State Comptroller, where it is posted in CORE, the

funds are available for expenditure.

The Department’s practice is to ensure that Authorization, Allocation and Allotment have occurred prior to

advertising and awarding projects. The Department seeks to have 100% of construction funds approved before

advancing into the construction phase. This practice results in the appearance that money is not being spent since

the actual draw-down of funds during design or construction will not occur until the work is completed and

accepted. Similarly, significant portions of payments for the purchase of rail cars and busses are not made until

the vehicle is delivered and accepted. Undertaking large capital projects such as the reconstruction of I-84 in

Waterbury at a cost of $342.8 million, or the replacement of the West River Bridge connecting New Haven and

West Haven at a cost of $182.9 million, can leave the appearance that the Department has large amounts of

unspent funds that are not being utilized, when in reality the funds are committed to on-going design work, or

soon to be executed capital infrastructure construction projects.

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The sale of bonds does not occur until the money is actually required to pay project costs. The amount of bonds

sold for the Capital Program is based on the estimated cash flow requirements of current projects, not on the

amount of bond authorizations or bond allocations. Bonds are sold to investors and bond proceeds are used to pay

for project costs. The cost to the State (the taxpayers) occurs as the State makes principal and interest payments

on the bonds that were sold. Bonds sold are typically 20-year bonds, which means that 1/20th of the cost is paid

back the first year after the bonds are sold, 1/20th the second year, and so on, for 20 years. The funding required

to make the payments is called debt service. The debt service for the Capital Program is paid for with revenue

from the Special Transportation Fund (STF). The STF is funded with state gas taxes, motor vehicle license,

registration and other fees.

Role of Federal Funds

While State funding has taken on a more prominent role in recent years with the increase in State bonding

authorizations, Federal funds still play a critical role in transportation funding in Connecticut. We have four

major sources of Federal funding, all of which fall under the umbrella of the US Department of Transportation

(USDOT): the Federal Transit Administration (FTA), the Federal Highway Administration (FHWA), the Federal

Railroad Administration (FRA) and the National Highway Traffic Safety Administration (NHTSA).

In December 2015, Congress passed the FAST Act. The five (5) year bill provided $305 billion for surface

transportation programs for federal fiscal years 2016 - 2020. The FAST Act provides states with predictable

formula funding for five (5) years, and provides an average annual growth of 2.9% in the overall funding levels.

The Act’s five (5) years of predictable formula funding enables the Department to better manage long-term assets

and address the backlog of state of good repair needs.

Total new Federal funding received for FFY 2016 was $716 million. The Capital Plan is based on the projected

FFY 2017 level of Federal funding of $693 million. This includes anticipated FHWA, FTA, and NHTSA

funding. The FFY 2016 funding includes $45 million of additional funding that was received from FHWA near

year-end as part of an annual redistribution of additional funding that the Department successfully applied for and

was granted. The FFY 2017 funding level assumes a more typical $20 million of additional funding at year end

as a result of redistribution.

Federal earmarks and discretionary program funding have played a significant role in Connecticut’s Capital

Program in the past. Examples include: highway funding for the Q Bridge; Intercity and High Speed Rail funding

for the New Haven-Hartford-Springfield Rail Program; and Federal Transit’s new start funding for CTfastrak; as

well as funding for the Power Upgrade Project in New Haven Yard; and funding for the WALK Moveable Bridge

replacement through FTA’s Emergency Relief Program for recovery, relief and resilience efforts in areas affected

by Hurricane Sandy. To date the federal TIGER grant program has helped fund local initiatives in Stamford and

New Haven. Whether such funding will be a significant source of future federal aid has yet to be determined as

the 2017 Congress debates reverting back to utilizing the former programs.

The data presented in this report is based on the FFY cycle (October 1 to September 30) rather than the Calendar

Year or the State Fiscal Year (SFY – July 1 to June 30) because of the major role the Federal funds play and the

fact that the FHWA funds must be fully utilized each year by the end of the FFY.

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Management of FHWA Funding

The FHWA is the largest Federal funding source for the Department’s transportation program and is the primary

Federal funding source for highways and bridges. With annual funding from FHWA exceeding $500 million, the

strategic management and utilization of FHWA funds is critical to the Department’s Capital Program.

FHWA regulations require the Department to “obligate” or commit all regular formula funds authorized for use in

any given FFY in that specific year. The Department has consistently obligated all of its available Federal

funding. This makes the Department eligible to ask for more funds prior to the end of the fiscal year. In fact,

over the last five (5) years, the Department received and obligated $112 million in additional Federal funds that

came from other states or unused obligations and Federal holdbacks. In FFY 2016, the Department was

extremely successful in its request, receiving and obligating $45 million over and above its original allocation of

Federal monies.

The USDOT requires the recipients of Federal funds to develop a finance plan to complete a project. To achieve

this, the Department uses a Federal financial tool called Advance Construction (AC), particularly for large multi-

year programs, which essentially provides for a phased approach to project funding. This mechanism allows the

state to request and receive approval to construct a Federal-aid project in advance of the availability of authorized

Federal funds.

AC is a cash flow tool that amounts to borrowing against future Federal transportation funding. It should be noted

that these funds are only guaranteed to the extent of the available future Federal budgets in any given year. The

AC mechanism was used aggressively in 2010 to progress work on the important I-95 New Haven Q Bridge

Program without affecting funding for the rest of the construction program. The Department has since been able

to move back from those higher levels of such “borrowing.” However, with the FFY 2015 award of the $342.8

million I-84 reconstruction project in Waterbury, the Department has placed another large commitment against

future Federal funding. Figure E shows the historical and planned levels of AC authorization. Note that the AC

levels shown for future years reflect specific projects identified in the Capital Plan and therefore subject to

significant change (i.e. additions) as larger projects which need phase financing are committed. For FFY 2018

through FFY 2021, approximately 35 projects will be financed with AC conversions. This represents over 50%

of the annual highways funding being used for ongoing construction projects. This in essence presents the real

possibility that the Department may be fiscally constrained from maintaining its annual project advertising level,

which has averaged 90 projects per year for the last five (5) years.

Management of FTA Funding

The Federal Transit Administration (FTA) is the dominant Federal funding source for the Department’s Public

Transportation Infrastructure program. With annual funding from FTA exceeding $170 million, through five

(5) annual program apportionments, the strategic management and utilization of FTA funds, paying close

attention to funding eligibility requirements, is critical to the Public Transportation Capital Program.

FTA requirements and procedures for the management of all FTA grant programs are governed by FTA’s

Master Agreement, the official FTA document containing Federal requirements applicable to the FTA

recipient and the administration of FTA grants. The Master Agreement is incorporated by reference and made

part of each FTA grant.

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The Department is the designated recipient for all FTA programs and is responsible for service and planning

decisions for rail, fixed-route bus and complementary paratransit service in the urbanized areas of the state.

For most regular formula funds authorized, FTA allows three (3) years for funds to be obligated; therefore the

funding may be carried forward. This allows for larger projects to be financed with two (2) or more years of

apportionment. Additionally, as the designated recipient, the Department programs and plans the formula

funding from Section 5307 (the largest FTA source of funds) and creates a funding pool from which capital

projects in regions around the state are funded. The Department does not utilize a formula to reallocate

Section 5307 formula funds to the bus operators, rather the funding pool allows for a cooperative, non-

discriminatory allocation of funds to different regions based on annual needs. The disbursement of these

funds is approved by the MPOs in the Statewide Transportation Improvement Program (STIP). Sub-area split

agreements that reflect the annual disbursement of funds by region are created by the Department and

executed by the operators from each region. This program allows local transit operators to fund major projects

for which they may otherwise have never accumulated adequate funds.

As with FHWA funding, FTA also requires the recipients of Federal funds to develop a finance plan to

complete large projects. To achieve this, the Department uses a Federal financial tool called Pre-Award

Authority, particularly for large multi-year programs, which essentially provides for a phased approach to

project funding. This mechanism allows the state to request and receive approval to construct a Federal-aid

project in advance of the availability of authorized Federal funds.

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Components of the Capital Program

Public Transportation

The Department manages a multi-modal network that includes rail, bus, and paratransit services through contracts

with transit districts, private bus operators, management companies and railroads. It also directly operates two

Connecticut River ferry services. The state supplies all or most of the capital assets (rolling stock, maintenance

facilities, etc.) required in order to operate these various services. The Bureau of Public Transportation provides

oversight for the Department of these operators as well as public transit funding for urban, small urban and rural

transit providers. These services are the backbone of the state’s economy, transporting 85 million people per year.

Through the Let’s GO CT! Program, the state is making significant investments in upgrading existing routes and

services, while building new infrastructure and introducing new services such as the Hartford Line and a state of

the art smart card fare system. These improvements are part of a broader strategy to improve the reliability and

capacity of existing services, while building a more flexible and integrated multimodal transportation system, one

that will help businesses thrive and improve the quality of life for residents and visitors alike.

The Department prioritizes public transportation investments that ensure public safety, restore the infrastructure to

a state of good repair, improve the customer experience, and promote economic development.

Highway and Bridge

In developing the Highway and Bridge Capital Program, the Department strives to create a mix of projects that

address the transportation mobility and safety needs of the entire state. We balance priorities using a variety of

criteria such as Safety, System Preservation, Mobility Enhancements, Congestion Relief, and Criticality. The

Department also strives to maintain a balance between the urban and rural programmed work.

The Department’s overriding focus remains on the preservation of the existing infrastructure. This means

maintaining the State’s road, bridge and transit facilities in a manner that ensures they last beyond their design

life. This is known as a “State of Good Repair.”

Complete Streets

Every personal trip includes a movement without a motor vehicle – perhaps walking, biking or using a

wheelchair. The Department’s policy is to enable safe, convenient and comfortable travel for all citizens whether

they are on foot, bicycle or other mobility device. The Department is committed to providing the balance of

modes that Connecticut’s citizens and economy require. This concept of serving all transportation modes in an

integrated manner is called “Complete Streets.”

The Department is implementing a Complete Streets Policy Department-wide through training, design guidance,

funding, data collection, and plans to monitor the output through performance measures. Complete Streets is a

means to provide safe access for all users (pedestrians, persons using mobility aids, bicyclists, transit users and

vehicle operators) by providing a comprehensive, integrated, and connected multi-modal network of

transportation options. It is the policy of the Department to consider the needs of all users, of all abilities and

ages, in the planning, programming, design, construction, retrofit and maintenance activities related to all roads

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and streets as a means of providing a safe and efficient transportation network that enhances the quality of life and

economic vitality.

Connecticut law requires a comprehensive Complete Streets approach to the planning, design, construction and

operation of public roads. Also, the law (Public Act No. 09‐154) specifically requires that the Department expend

at least 1% of the total annual budget for projects that provide facilities for cyclists and pedestrians. The

Department has routinely exceeded this spending mandate. 3.0% of the program on average for the last five (5)

years has been used to create walkways, bikeways, and various associated amenities.

The Department awarded 55 projects in SFY 2016 that included elements for pedestrians or bicyclists, such as

sidewalks, ramps, pedestrian signals, push‐buttons, signs, and pedestrian/bicycle trails. The total dollars expended

for these items was approximately $19.4 million, which was about 5.8% of the total funds awarded for the

construction, restoration, rehabilitation, or relocation of roads in the state.

Safety

The Department has continued its efforts to drive down the number of fatalities and serious injuries of all users of

Connecticut’s highways. These efforts are directed by a Strategic Highway Safety Plan (SHSP) for Connecticut.

The SHSP is a plan developed by all safety stakeholders, who collaborate on safety efforts and leverage resources.

A new draft SHSP is under review by stakeholders; the Executive Committee is to approve it in 2017.

To further help reduce roadway fatalities and serious injuries on the local system; in 2017 the Department will

work with two regional planning organizations to pilot a rural and an urban regional SHSP. The two initial

regional SHSPs are expected to be finalized in 2018. Over the following few years, funding will be proposed for

the remaining regional safety plans. These regional safety plans will provide the means to identify capital safety

infrastructure improvements.

The Department has established a dedicated staff to run a highway safety program focused on implementing

systematic transportation safety improvements. These types of projects focus on providing safety improvements

over the entire transportation network and provide the highest safety benefit for each dollar spent. While

improving the safety of the transportation network is part of every capital investment, the agency is striving to

dedicate approximately $8 million annually to this specific systematic approach. The work includes:

• Rumble Strip Projects. These are grooves in pavement that produce noise and vibration when tires

make contact. They are a proven safety countermeasure to reduce lane departure crashes. 200 miles

of centerline rumble strips on both local and state routes were installed in 2016. Another 160 miles of

rumble strips (both centerline and shoulder) will be constructed in 2017 and a rumble strip project for

2018 construction is currently under design.

• Statewide Pedestrian Warning Sign Project. Pedestrian warning signs and associated plaques are

being upgraded with a fluorescent yellow background and post delineator to enhance visibility,

especially during dawn and dusk periods. A systematic initiative to replace these signs on state routes

in Districts 3 and 4 began in 2016 and will continue into 2017. The design for Districts 1 and 2 will be

completed in 2016 and constructed in 2017.

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• Statewide Traffic Signal Clearance Interval Retiming Project. All state owned and maintained signals

are being revised using current engineering methods for the yellow and red clearance intervals. The

timings are being calculated and the signal plans are being revised.

• Statewide Horizontal Curve Project for Local Rural Roads. As documented in FHWA’s “Promoting

the Implementation of Proven Safety Countermeasures”, improved horizontal curve delineation is

proven to be a cost-effective approach to reducing roadway departures. The locations are being

designed in a consistent approach, in accordance with national standards for the use of signs and

pavement markings. The design for Districts 2 and 3 will be completed in 2016 and constructed in

2017. Districts 1 and 4 will complete design in 2017 with construction in 2018.

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The Capital Construction Program

The Department’s Capital Construction Program is a subset of the overall capital funding program. The Capital

Construction Program is multimodal, with highway and bridge construction constituting the majority of the

program. It does not include equipment procurement, such as the new M8 rail cars, or replacement buses. Nor

does it include operating expenses or the costs of railroad support of projects. It does, however, include projects

such as the catenary replacement program and rail station construction.

Connecticut’s many infrastructure needs far exceed the financial resources to address them all. As a result, the

first priority of the Capital Construction Program is preservation of our multimodal assets; maintaining them in a

state of good repair. A formal Asset Management Program, currently under development, will assist in the

decision making process for project selection going forward, as required by the USDOT.

For planning purposes, roughly 25% of the Capital Construction Program funding is utilized for preliminary

engineering and the purchase of property rights for projects. The rest is planned for use in the construction phase.

During FFY 2016, the Department bid 105 projects at roughly $475 million in contract value. Contract value is

equal to the actual bid amount of the approved low bidder, also referred to as contract bid amount. The $475

million in contract value equates to nearly $592 million in total construction costs the Department delivered last

year, which includes inspection and other support services, as well as a contingency budget. During the FFY

2017, the Department anticipates bidding 87 projects at roughly $570 million in contract value, or nearly $710

million in total construction costs. The attached five (5) year Capital Plan contains information on specific

projects, as does the documents, Projects Scheduled for Advertising, found on the Department’s website:

http://www.ct.gov/dot/cwp/view.asp?a=1399&q=260048

Figure F presents the historical project production levels, as well as the total construction cost for each year. The

program has been expanding over the years, consistent with the increased transportation investment levels. While

the Department has been benefiting from these increased investment levels, the full benefit of this increase has

been offset by the increased cost of capital projects.

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Mode Specific Accomplishments and Plans for the Future

Public Transportation Capital Program

Bus

The Bus Capital Program supports transit services around the state including state-owned CTtransit operations in

eight urban areas, transit district-owned services in seven other urban areas, rural services in five areas around the

state, and para-transit operations in 14 transit districts.

The CTfastrak system reached a milestone in 2016, carrying its four (4) millionth customers since opening day

and routinely transporting more than 20,000 customers daily. Planning is underway to extend CTfastrak service

from Hartford to Storrs, CT with upgraded park & rides along I-84 and new vehicles.

The New Fare Technology System project for CTtransit and the CTfastrak service continued in 2016 with the

installation of new fareboxes at Hartford Garage. Testing and commissioning of the system continues with

expected introduction of smartcards and payment by mobile phone in early 2017.

The Intelligent Transportation Systems (ITS) program that has been so successful for CTfastrak, will be extended

to the entire CTtransit fleet statewide in 2017. This system enables vehicle location, real-time bus arrival

prediction, variable message signage at stops/stations, and on-board automated bus announcements.

Contract awards were made for a major bus procurement that will replace about 40 percent of the CTtransit bus

fleet over the next four years. During the course of 2017, 130 new buses will be delivered, mostly for use in the

Hartford and New Haven Divisions.

Finally, construction of the new Waterbury CTtransit bus maintenance facility continued in 2016 and it is on

schedule to be completed in 2017. The facility will accommodate the storage and maintenance of a mixed fleet of

40 buses and 39 smaller vehicles.

Rail

The Rail Capital Program includes capital projects necessary to support two existing commuter railroads, the New

Haven Line (NHL) and Shore Line East (SLE) and the Hartford Line which will introduce new CTrail service in

2018. The overall program is intended to bolster service reliability and operational efficiency, replace outdated

and undersized facilities and provide the capacity for growth in rail service.

Among the major priorities, the Department continues to work with Metro-North Railroad to implement the

requirements of the Railroad Safety Improvement Act of 2008 (RSIA), principally installation of Positive Train

Control (PTC) systems on the New Haven Line. The system is designed to monitor train activity, prevent

collisions, and convey and enforce speed restrictions. Some features of the new PTC system, such as civil speed

enforcement, will be introduced on New Haven Line trains in 2017.

The New Haven Rail Yard (NHRY) capital investment program continues with the opening of the Component

Change-Out (CCO) Facility in 2016. This new facility is designed to maintain the fleet of M8 rail cars,

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minimizing the time required to inspect and maintain the rail cars. In 2017, the Central Distribution Warehouse

now under construction will automate parts distribution and inventory control.

In 2016, the Department awarded contracts to overhauled P40 and GP40 diesel locomotives, and worked with

Metro-North Railroad to procure an additional 60 M8s for the New Haven Line. The Department also began

work on a long term fleet strategy for the branch lines, Shore Line East and Hartford Line. The initial focus of the

fleet plan will be the replacement of aging push-pull type equipment followed by the purchase of new dual-mode

and electric locomotives.

In 2016, the first four (4) phases of the catenary replacement program, which includes installation of a new

“constant tension” system, was substantially completed. The final phase of construction for the remaining

section is underway with completion in 2018. This will complete the entire catenary replacement from the New

York State line to New Haven.

Walk Bridge is the oldest movable bridge along the New Haven Line and Northeast Corridor in Connecticut, the

busiest commuter rail line in the nation. In 2016, the Department with Metro-North Railroad completed shorter

term repairs to Walk Bridge including upgrades to the drive system to open and close the movable pieces of rail

that lock the bridge into place and other gear. The CTDOT continued to advance the design and engineering of a

new Walk Bridge. The Walk Bridge Program now includes a new interlocking at CP 243 and improvements at

Danbury Dock Yard.

Hartford Line is on schedule to start service in 2018. The ongoing capital project will increase top train speeds

from 80 mph to 110 mph, and increase rail service to 17 round trips per day. It requires a substantial rebuilding of

the rail bed including new culverts and bridges to support an additional railroad track.

Maritime

In 2016, the responsibilities of the Maritime Office transitioned to the new Connecticut Port Authority. Their

capital funding passes through this Agency and on to the Port Authority for their use.

The Department continues to operate the two Connecticut River ferries as well as the State Pier in New London.

The Department continues to make routine repairs to vessels and replace the pilings at Rocky Hill ferry. In 2016,

public restrooms were built at the Rocky Hill ferry.

Page | 14

Highway and Bridge Capital Program

Highway and Bridge

The Capital Construction Program’s emphasis is toward preservation of the Department’s multimodal assets. The

financial summary page of the FFY 2017–2021 Capital Plan is presented as Figure A, and is a useful reference

for this discussion. The full document, however, presents specific projects and activities and the funding planned

for those activities over the next five (5) year period.

The Highway and Bridge Construction Program is always the largest modal component of the Capital

Construction Program. As noted earlier in this report, Connecticut is heavily dependent on Federal funding for all

modes. The 2017 Capital Construction Program funding plan includes a variety of types of projects, from small

local bridges and intersection improvements to the continuation of major projects. The Department works to

develop a mix of projects that address the transportation mobility and safety needs of the entire state. This also

produces a program that can be designed and constructed by firms of various sizes and specialties.

A sizeable portion of the money available for the 2016 Capital Construction Program was used on several major

initiatives such as the completion of the replacement of the I-95 Pearl Harbor Memorial (Q) Bridge Project in

New Haven; the ongoing construction and anticipated completion of the Moses Wheeler Bridge, located on I-95

in Stratford; the ongoing construction of a segment of the Merritt Parkway Corridor Improvement Project

between Stamford and New Canaan; and the ongoing construction of the new I-95 bridge over West River in

West Haven. Other Department major accomplishments for 2016 include the completion of the construction of

the widening of I-95 from the Operational Improvement Project in Norwalk and the completion of construction of

several projects in the Innovative Bridge Program, such as the Route 8 Design-Build Bridge Project (the first by

CTDOT), located in Bridgeport, and various Accelerated Bridge Construction (ABC) Projects throughout

Connecticut.

Looking ahead towards 2017, major new initiatives planned for this next year include repairs to the southbound

Gold Star Bridge in New London; painting and structural repairs to the Commodore Hull Bridge in Shelton;

rehabilitation of eight bridges within the I-84 Viaduct and surrounding area in Hartford; and the start of the next

phase of the Merritt Parkway rehabilitation program in the Westport area. The Department will continue with

planning for the replacement of the I-84 Hartford Viaduct; the Relocation and Reconfiguration of the I-91/Route

15 Interchange in Hartford; and the Reconfiguration of the I-91/I-691/Route 15 Interchange in Meriden. The

Department will also continue to advance the ongoing corridor study for I-95. Design will continue on the Traffic

Signal Removal on Route 9 in Middletown; the last remaining segment of the Merritt Parkway Corridor

Improvement Project in Norwalk; and tunnel improvements to the Heroes Tunnel, located along Route 15 in

Woodbridge and New Haven.

Construction will continue in 2017 on Phase 1 of the replacement of the railroad bridge over Atlantic Street in

Stamford; reconstruction of I-84 in Waterbury; and the replacement of the West River Bridge in New Haven and

West Haven. Construction will begin on the Merritt Parkway corridor improvement project that runs from

Fairfield to Westport; rehabilitation of the northbound Gold Star Memorial Bridge on I-95 in Groton/New

London; rehabilitation of the I-84/Route 8 Interchange in Waterbury; Phase 2 of the Atlantic Street railroad bridge

project in Stamford; bridge rehabilitation work on the I-84 Hartford Viaduct in Hartford; and other various

Innovative Bridge Program Projects throughout the state.

Page | 15

The Department’s projected outlook for construction commitments in 2018 through 2021 are the Tunnel

Improvements to the Heroes Tunnel on Route 15 in Woodbridge/New Haven; I-91 Resurfacing, Bridge, and

Safety Improvements in Wethersfield; I-84 Resurfacing, Bridge, and Safety Improvements in Newtown; and

superstructure replacement of the Rochambeau Bridge on I-84 in Newtown.

A more detailed discussion can be found in the Department of Transportation section of the Governor’s 2015-

2016 Digest of Administrative Reports (http://das.ct.gov/cr1.aspx?page=17).

Complete Streets

In 2016, some of the Department’s major accomplishments were the ongoing construction of the Farmington

segment from the Farmington Canal Heritage Trail Project; the ongoing construction of the Safety and Traffic

Improvements on Route 4 in Farmington; the construction completion of the Cheshire segments from the

Farmington Canal Heritage Trail Project; the construction completion of Mid-Block Crosswalks and Pedestrian

Signals/Detectors on Route 137 in Stamford; the construction completion of the Hop River Trail / Airline Trail

Extension, located in Windham; the ongoing construction of the Upgrade of Sidewalk Ramps on Route 847 in

Wallingford; and the construction completion of the East Hartford Multi-Use Trail, in East Hartford. Looking

ahead in 2017, major construction initiatives include the Charter Oak Greenway in Bolton/Manchester; the Park

Street Streetscape Enhancements in Hartford; and the Farmington Canal Greenway in New Haven.

The projected outlook for construction commitments in 2018 through 2021 include the Farmington Canal

Heritage Trail in Southington; the Hop River Trail Bridge Rehabilitation in Windham; the Putnam Bridge

Walkway connecting Wethersfield and Glastonbury; the Hop River State Park Trail in Coventry and Columbia;

the Moosup Valley State Park Trail in Plainfield and Sterling; and various projects that include elements for

pedestrians or bicyclists, such as sidewalks, ramps, pedestrian signals, push‐buttons, and signs.

Page | 16

Conclusion

The Department continues to develop its Capital Program consistent with sound fiscal planning. The Federal

component of the transportation Capital Program has been stable for many years, and fortunately we now have a

new long term commitment for FFY 2017 through FFY 2020 during the Ramp-Up, with hopes of maintaining the

new funding levels in 2021 and beyond. The State capital funding stream is anticipated to stay strong and reliable

as the Governor and legislature make infrastructure spending a priority for economic growth and job creation.

The Department of Transportation’s goal is to optimize the capital funding for all its transportation modes and to

improve continuously its ability to deliver maximum infrastructure improvements for each dollar expended. The

Department achieves this in the following ways:

The Department obtains and uses all of the Federal funds allocated to the state.

FHWA has awarded Connecticut tens of millions of dollars of funds other states could not obligate on

schedule.

The Department attempts to use all of the State funds appropriated to its use as soon as practical.

The Department works with the Governor’s Office, the Legislature and other State and Federal agencies

to identify and/or create additional sources of funding.

Advance Construction is used to advance major projects while managing financial risk and deploying a

mixture of projects to meet the many needs of the state.

The Department manages the Capital Program by managing its resources in a manner that optimizes

output. At the same time, the Program creates a variety of jobs and economic benefits: engineering, legal,

public safety, materials production and sale, etc.

Continuously improving Project Delivery increases the Department’s capacity to provide the state with

higher quality transportation improvements that maximize the state’s return on its investment.

The Department will continue to balance the priorities for the Capital Program using a variety of criteria starting

with an asset management approach to achieving a state of good repair. Beyond those financial demands, a

significant portion of the Capital Program funding supports a few mega-projects, which can cost many hundreds

of millions of dollars and last many years. These large investments can be critical to the state’s economic

survival; however, they put a strain on the Capital Program. Therefore, the Department must plan carefully to

make the most of its financial resources.

Let’s GO CT! allows for an expansion of the Department’s program to address our infrastructure and the needs of

the travelling public beyond a state of good repair. The influx of capital associated with the 5 year Ramp-Up

through 2020 allows the Department to begin to prepare for an expanded Capital Program and provides necessary

funding for public transportation expansion to include the purchase of new rail cars and busses. However, the

Department’s ability to move beyond the planning and design stage will continue to be limited until the financial

plan to support the vision is more clearly defined by the state legislature.

Page | 17

Figures

Figure A

FFY 2017 FFY 2018 FFY 2019 FFY 2020 FFY 2021

Highway and Bridge

Available Funding:

Federal Funding 645,306,382$ 631,828,727$ 614,211,291$ 606,367,144$ 605,942,144$

State Funding (other than Ramp Up) 588,175,549$ 533,075,233$ 475,052,522$ 490,936,012$ 877,773,072$

Ramp Up State Funding 273,204,985$ 178,360,000$ 334,194,715$ 274,789,715$ -$

Total Funding 1,506,686,916$ 1,343,263,960$ 1,423,458,528$ 1,372,092,871$ 1,483,715,216$

Less Funding for Programs not in Capital Plan (136,690,884)$ (99,155,167)$ (86,155,167)$ (86,155,167)$ (86,155,167)$

Less Anticipated Carryforward to next year (76,309,918)$ (58,467,858)$ (158,386,045)$ (39,382,230)$ (13,486,580)$

Total Funding Anticipate Utilizing 1,293,686,114$ 1,185,640,935$ 1,178,917,316$ 1,246,555,474$ 1,384,073,469$

Programmed Amount (In Capital Plan) 1,293,686,114$ 1,185,640,935$ 1,178,917,316$ 1,246,555,474$ 1,384,073,469$

Public Transportation

Available Funding:

Federal Funding 310,701,946$ 364,390,458$ 178,282,747$ 181,313,553$ 181,313,553$

State Funding (other than Ramp Up) 317,810,382$ 284,996,851$ 239,122,500$ 239,659,001$ 569,536,671$

Ramp Up State Funding 421,000,000$ 224,600,000$ 410,000,000$ 534,000,000$ -$

Total Funding 1,049,512,328$ 873,987,309$ 827,405,247$ 954,972,553$ 750,850,224$

Less Funding for Programs not in Capital Plan (2,702,044)$ (2,745,277)$ (2,799,084)$ (2,846,669)$ (2,846,669)$

Less Anticipated Carryforward to next year (113,308,036)$ 0$ (0)$ (7,004,171)$ (21,841)$

Total Funding Anticipate Utilizing 933,502,248$ 871,242,032$ 824,606,162$ 945,121,714$ 747,981,714$

Programmed Amount (In Capital Plan) 933,502,248$ 871,242,031$ 824,606,162$ 945,121,714$ 747,981,714$

Facilities

Available Funding:

State Funding 24,163,909$ 63,132,500$ 44,247,000$ 59,112,500$ 55,100,000$

Less Anticipated Carryforward to next year -$ -$ -$ -$ -$

Total Funding Anticipate Utilizing 24,163,909$ 63,132,500$ 44,247,000$ 59,112,500$ 55,100,000$

Programmed Amount (In Capital Plan) 24,163,909$ 63,132,500$ 44,247,000$ 59,112,500$ 55,100,000$

Total All Modes

Available Funding:

Federal Funding [1] 956,008,328$ 996,219,185$ 792,494,038$ 787,680,697$ 787,255,697$

State Funding (other than Ramp Up) [2] [3] 930,149,840$ 881,204,584$ 758,422,022$ 789,707,513$ 1,502,409,743$

Ramp Up State Funding [2] 694,204,985$ 402,960,000$ 744,194,715$ 808,789,715$ -$

Total Funding 2,580,363,153$ 2,280,383,769$ 2,295,110,775$ 2,386,177,924$ 2,289,665,440$

Less Funding for Programs not in Capital Plan [4] (139,392,928)$ (101,900,444)$ (88,954,251)$ (89,001,836)$ (89,001,836)$

Less Anticipated Carryforward to next year [5] (189,617,954)$ (58,467,858)$ (158,386,045)$ (46,386,401)$ (13,508,421)$

Total Funding (Federal and State) Anticipate Utilizing 2,251,352,271$ 2,120,015,467$ 2,047,770,478$ 2,250,789,688$ 2,187,155,183$

Programmed Amount (In Capital Plan) 2,251,352,271$ 2,120,015,466$ 2,047,770,478$ 2,250,789,688$ 2,187,155,183$

[1] Includes current year federal funding, earmarked funds, as well as prior year carryforwards and funds released from completed projects that are available for reobligation.

Earmarked funds are not shown as carryforward, but rather included in the year in which they are anticipated to be obligated.

Federal levels are based on planned increases under FAST Act.

[2] It is assumed that as the five-year ramp up ends in FFY 2020, the State's Regular Bond Program will increase by approximately $700 million FFY 2021 to reflect the

transition to a "ramped-up" regular program.

[3] State funding amounts do not include Cost of Issuance, Aviations, Maritime, Town Aid Road or Highway and Bridge Renewal Equipment.

[4] Programming for Federal Transit Sec. 5305 MPO Planning funds and Sec. 5337 funds for Hartford is not included in the Capital Plan.

Programming for National Highway Traffic Safety Administration (NHTSA) funding is not included in the Capital Plan.

Programming for LOTCIP and Local Bridge programs is not included in the Capital Plan as they are administered as grant programs.

[5] Carryforward funds do not include earmarked funding as they are not available for general use.

Department of Transportation FFY 2017 - 2021 Capital Plan

Page | 18

Figure B

Let’s Go CT!5-Year Ramp-UP

700 782 874 704 691

891 716 693 706 721 736 736

-

500 278

566 660 712

701

764

- - - -

-

-

-

-- -

-

824 841 821 836

1,562

-

-

-- -

- 275

520 552 750 706

-

-

-

-- -

-

-

--

- -

3,200

$0

$500

$1,000

$1,500

$2,000

$2,500

$3,000

$3,500

Mill

ion

s

Vision Level Capital Funding

5 Yr Ramp Up - Let's Go CT!Value = $2.8 Billion

Proposed "Base" State BondingAuthorizations

Past Years State BondingAuthorizations

Federal Funding (Includesestimated increase under FASTAct)

Figure C

Capital Budget FFY 2016 to FFY 2020Base Program vs. Ramp-UP

Base Capital Program

$4.1 Billion State $3.6 Billion Federal

Ramp Up$ 2.8 Billion - State Approximately $10.5

Billion investment over the 5 year

period

Page | 19

Figure D

Capital Project Expenditures

540748

908 860 924 993 990 1,075

1,327

0

200

400

600

800

1000

1200

1400

1600

1800

2000

2008 2009 2010 2011 2012 2013 2014 2015 2016

Millio

ns

Other

Eng/Row

Const

Figure E

Advance Construction Authorization Levels @ end FFY

--- Scheduled ---

$0

$100,000,000

$200,000,000

$300,000,000

$400,000,000

$500,000,000

$600,000,000

$700,000,000

$800,000,000

$900,000,000

$1,000,000,000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2010

2011

2012

2013

2014

2015

2016

2017

2018

2019

2020

2021

Page | 20

Figure F

Contract Production Levels

# ofProjects 39 49 38 68 46 67 67 73 82 60 81 106 97 105 87

240 265 241406 375

794

1096

746 756

375

719

1209

515

592

710

0

200

400

600

800

1000

1200

1400

To

tal

Co

nstr

ucti

on

Co

st

($

X 1

00

0)

By Calendar Year until 2014

Total Construction Cost